What are the responsibilities and job description for the Compliance Associate - Control Room position at JCW?
This role requires 5 days onsite per week in midtown Manhattan.
Fantastic opportunity to join a market leading alternative asset manager with $40 billion AUM.
This position will hold primary responsibility for managing the firm's Control Room activities. The Control Room handles the Firm’s MNPI and wall-crossing processes, maintains the Grey and Restricted Lists for securities trading, and gatekeeps communications with brokers, research providers and expert networks, and the Firm’s research analysts and investment professionals.
Responsibilities:
- Responsible for managing Control Room operating processes, wall-crossings, maintenance of Grey and Restricted lists, ongoing and pre-deal transactional clearance, research provider/expert network clearance, and MNPI.
- Working with the Legal Department and outside counsel on transactional and deal-related issues, specifically in the credit and structured credit spaces
- Assist the business in determining the appropriate treatment of transactions; if an issuer should be added/deleted from the Restricted or Grey Lists and addressing applicable research restrictions.
- Reviewing potential conflicts within the firm and liaising with the various businesses at times to resolve any real or perceived conflicts of interest.
- Advise the business groups of regulatory requirements on a transaction-specific basis.
- Conduct training on various Compliance/regulatory topics and utilize various methods (e.g., team meetings; Compliance Bulletins; Annual Compliance Meetings) to the firm.
- Chaperoning communications and meetings where required.
Requirements:
- 4 years demonstrable experience in a compliance role handling control room related activities. Experience in asset management is a plus but not required
- Strong knowledge of U.S. federal securities rules/regulations and eagerness to learn
- Ability to work in office 5 days per week
Salary : $140,000 - $190,000
